Firm Name Reservation Request Form
Please send completed form by mail, fax or
email to: FINRA
Regulatory Review and Disclosure Department
9509 Key West Avenue
Rockville, MD 20850
For questions, please contact the Gateway Call Center at 301-590-6500.
Note: Before submitting this Form, FINRA strongly encourages you to read and follow its
Firm Name Guidelines. Doing so will help ensure that the name you request complies with federal
law/regulations (including Regulation BI) and FINRA’s By-Laws, and that it is otherwise consistent
with the guidelines for proposed names described therein. If you are requesting a broker-dealer
name that, although similar to the name of a current member firm, you believe is unlikely to confuse
retail investors based on the limited scope of the firm’s business, please provide the necessary
information referenced in the guidelines.
Requestor’s Name and Title:
Request Type: Broker Dealer Funding Portal
If this request is being made for a current FINRA member firm, please provide the firm’s name and CRD
Please list the name(s) you wish to reserve below. You may provide up to three names in order of
preference. FINRA will reserve the highest-ranked name that is acceptable.
If the requesting firm has any affiliates that are registered with FINRA, please list the affiliate(s) below: